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CK

Carl J. Kempf

CARISSIMA CAPITAL LLC
Troy, NY
Some features on this profile are disabled
CRD#: 4582931
CK

Professional summary

Carl John Kempf III is a registered financial advisor currently at CARISSIMA CAPITAL LLC located in Troy, New York.

Carl is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Carl has worked at 2 firms and has passed the Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carl John Kempf III's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

February 3, 2025 - Present

CARISSIMA CAPITAL LLC

RIA
CRD#: 331292
Troy, NY
Past

April 19, 2024 - December 31, 2024

CARISSIMA CAPITAL LLC

RIA
CRD#: 331292
TROY, NY
Past

October 18, 2002 - August 26, 2003

WS GRIFFITH SECURITIES, INC.

BD
CRD#: 10410
HARTFORD, CT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
New York
(2/3/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 10/17/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 10/17/2002
Investment Company Products/Variable Contracts Representative Examination

Current Firm

CC
CARISSIMA CAPITAL LLC
CARISSIMA CAPITAL LLC

CRD#: 331292 / SEC#:

New York
Registered Investment Advisory firm - (2/3/2025 Approved)
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Contact information

Main Address
Troy, NY
Mailing Address
P.o. Box 1620 400 Broadway, Troy, NY 12180
Phone number
(518) 573-9703
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts8
AUM (Assets Under Management)$ 4,522,198

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

CARISSIMA CAPITAL LLC

CRD#: 331292Troy, NY

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